证券“吹哨人”最高奖提至100万 完善举报制度筑牢资本市场监管防线

Core Viewpoint - The introduction of the "whistleblower" reward system by the China Securities Regulatory Commission (CSRC) and the Ministry of Finance aims to enhance the protection of investors and promote the healthy development of the capital market by improving the reporting system for securities and futures violations [1][2]. Group 1: Reward System Enhancements - The new regulations significantly increase the reward standards, raising the reward amount from 1% to 3% of the penalties collected from violations, and increasing the maximum reward for providing major violation leads from 100,000 yuan to 500,000 yuan [1][3]. - The conditions for rewarding cases have been expanded, allowing for rewards in cases where penalties exceed 100,000 yuan, up from the previous threshold of 10,000 yuan [3][4]. Group 2: Reporting Mechanism Improvements - The regulations emphasize the protection of whistleblowers' rights, ensuring confidentiality and establishing clear channels for reporting violations [4][5]. - A specialized mechanism has been set up to handle leads from whistleblowers, allowing for collaboration with internal informants after obtaining their consent [4][6]. Group 3: Accountability and Oversight - The regulations establish a supervisory accountability mechanism, holding staff accountable for failing to act on whistleblower leads, with penalties for negligence or misconduct [6]. - The CSRC has indicated that it has considered public feedback on the regulations and has made adjustments accordingly, while some suggestions were not adopted due to conflicts with existing laws or concerns about reward levels [6].